Industries

Capital Markets & Asset Management

Listing obligations, continuous disclosure, intermediary compliance and fund-level reporting.

Overview

Once a business is listed or manages other people's money, disclosure stops being periodic and becomes continuous. The reporting calendar is unforgiving and the consequences of a late or inaccurate filing are public.

What comes up

Issues we are asked about

  • Listing obligations and continuous disclosure requirements
  • Related-party transactions and audit committee approval
  • Intermediary registration and compliance
  • Fund accounting, NAV and unitholder reporting
  • Insider trading codes and structured digital databases

Other sectors

Also frequently asked about

Manufacturing

Inventory valuation, cost accounting, capital allowances and an input tax credit chain that runs across states.

Technology & SaaS

Revenue recognition over time, export of services, ESOP accounting and cross-border withholding.

Financial Services

Regulatory reporting, expected credit loss, capital adequacy and a control environment under close supervision.

Advice for capital markets & asset management

Tell us what you are dealing with and we will point you to the person who knows the sector.

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